Monthly Report

 

List of Enforcement Actions for the Month of September 2011

 

Sl No

Date

Subject

Commissionís Decisio

01.

06.09.2011

Penalty Order for Violation of Securities related laws against Mehgna Petroleum Limited.

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02.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, Directive No. SEC/CMRRECD/2001-43/31 dated March 23, 2010 in connection with unusual trading in shares of Safko Spinning Mills Limited

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03.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Safko Spinning Mills Limited

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04.

06.09.2011

Penal Order: Non-compliance of securities laws in connection with unusual trading in shares of Safko Spinning Mills Limited

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05.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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06.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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07.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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08.

06.09.2011

Penal Order: Non-compliance of the Commissionís Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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09.

06.09.2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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10.

06.09.2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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11.

06.09.2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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12.

13.09.2011

Non-compliance with securities related laws in connection with third quarter (Q3) financial statements for the third quarter ended on September, 2010: Warning

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13.

13.09.2011

Non-compliance with securities laws:In connection with the delayed submission of half yearlyfinancial statements for the half year ended on December 31, 2010: Warning

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14.

15.09.2011

PENAL ORDER: Regarding Violation of Securities related laws.

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15.

16.09.2011

WARNING: Non-compliance of the Rule 8(1) of Securities and Exchange Rules, 1987 in connection with unusual trading in shares of Beach Hatchery Limited.

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16.

16.09.2011

WARNING: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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17.

16.09.2011

WARNING: Non-compliance of the SECís Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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18.

16.09.2011

WARNING: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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19.

16.09.2011

WARNING: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010 and Commissionís letter No. SEC/SRMID/94-231/472 dated February 13, 205, in connection with unusual trading in shares of Beach Hatchery Limited.

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20.

18.09.2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011: Warning

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21.

18.09.2011

Penalty Order for Violation of Securities related laws against Mona Food Industry Limited.

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22.

18.09.2011

Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Limited.

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23.

18.09.2011

Penalty Order for Violation of Securities related laws against Fahad Industries Limited.

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24.

18.09.2011

Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.

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25.

20.09.2011

PENAL ORDER: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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26.

20.09.2011

Penal Order: Non-compliance of the SECís Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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27.

20.09.2011

Penal Order: Non-compliance of the SECís Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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28.

20.09.2011

Penal Order: Non-compliance of the SECís Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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29.

20.09.2011

Non-compliance of securities laws: Warning.

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30.

21.09.2011

Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.

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31.

21.09.2011

Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited.

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32.

21.09.2011

WARNING: Non-compliance of Section 17 (e)(iii) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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33.

21.09.2011

WARNING: Non-compliance of the Commissionís Directive No. SEC/ CMRRCD/2001-43/48 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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34.

25.09.2011

Penalty Order for Violation of Securities related laws against Chittagong Vegetable Oil Industries Limited.

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35.

25.09.2011

PENAL ORDER: Non-compliance of Rule 18(9)  of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.

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36.

26.09.2011

Penalty Order for Violation of Securities related laws against Alhaj Textile Mills Limited.

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37.

29.09.2011

Penalty Order for Violation of Securities related laws against Azadi Printers Limited.

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